Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
James Joseph LombardiWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)UBS Financial Services Inc.11-14-2019
Nicolas A PintoCitigroup Global Markets Inc.Watts Capital Partners LLC11-14-2019
Jeremy J. PyszczynskiPruco Securities, LLC.Edward Jones11-14-2019
Joseph Mitchell CothronCiti Private Advisory, LLCDeutsche Bank Securities Inc.11-14-2019
Zachary Walter TimmCitizens Securities, Inc.Park Avenue Securities LLC11-14-2019
Nicholas E DabrownyJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-13-2019
Albert Patrick MorasCUNA Brokerage Services, Inc.Pruco Securities, LLC.11-13-2019
Jacob Anthony VillarrealPurshe Kaplan Sterling InvestmentsAXA Advisors, LLC11-13-2019
Jorge Luis GonzalezJ.P. Morgan Securities LLCLPL Financial LLC11-13-2019
Thomas E. AsprinioMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated11-12-2019
Daniel R. FigueiredoAmeriprise Financial Services, Inc.Northwestern Mutual Investment Services, LLC11-12-2019
Jeffrey Martin WesterSecurities America, Inc.Northwestern Mutual Investment Services, LLC11-12-2019
Zachary J. HawkinsPurshe Kaplan Sterling InvestmentsAXA Advisors, LLC11-12-2019
David PerezJoseph Gunnar & Co. LLCAegis Capital Corp.11-12-2019
Brenton SmithDel-Sette Capital Management, LLCVoya Financial Advisors, Inc.11-12-2019
Patrick Paul AstreLPL Financial LLCSagePoint Financial, Inc.11-11-2019
Reis Mitchell LubitzMerrill Lynch, Pierce, Fenner & Smith IncorporatedRaymond James Financial Services, Inc.11-11-2019
Nicholas PriceMorgan StanleyAmeriprise Financial Services, Inc.11-11-2019
Rosalie SchlaenPinnacle Investments, LLCRaymond James & Associates, Inc.11-10-2019
Jeffrey FiloneSpire Securities, LLCMorgan Stanley$10011-08-2019
Matthew Ryan SegalSpire Securities, LLCMorgan Stanley$10011-08-2019
Kin Pan TungMorgan StanleyHSBC Securities (USA) Inc.$10011-08-2019
Ronnie Paul WilsonSpire Securities, LLCMorgan Stanley$15011-08-2019
Tina Marie GundersonMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)11-08-2019
Robert FalkCUNA Brokerage Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-08-2019
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Showing 1 to 25 of 393 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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